Client Services Associate

Walsh Financial Services, LLC

Client Services Associate

Job Description

The Client Services Associate supports multiple financial advisors and provides a high level of client service, administration, and operations support to clients. The Client Services Associate is instrumental in ensuring the smooth operation of a fast-paced financial/investment services office with multiple financial advisors.

The Client Services Associate will:

• Exhibit a thorough knowledge of financial services terminology, principles, practices, and procedures.
• Proactively problem solve with exceptional communication skills while possessing meticulous attention to detail.
• Handle sensitive and confidential client information and business matters while demonstrating integrity, honesty, dependability, enthusiasm, organization, and professionalism.
• Provide a high level of customer service and follow-through, building a good rapport with clients and co-workers.
• Work under pressure and thrive in a fast-paced environment.
• Excel with technology and master RedTail CRM, as well as our broker-dealer (Cetera Advisor Networks) platform systems.
• Reports business activity and workflow status daily to the Operations Manager.

Primary Responsibilities

●      Act as a liaison between financial advisors and clients while following FINRA and Cetera regulations and guidelines.

●      Assists financial advisors with new account opening, account maintenance, and account service.

●      Onboards new client which includes the collection of required documentation and client information as well as preparing and submitting applications. Monitors timely completion of business processing using various systems and methods. Communicates status to clients and financial advisors.  

●      Assists financial advisors in preparing client pre-meeting documents, forms, and compiling correspondence for appointments.

●      Submits paperwork and follows up on related tasks to completion.

●      Maintains existing client relationships through the processing of client requests, resolving client inquiries, and ensuring key client information and documentation is up to date.

●      Interfaces with clients via phone calls and emails. 

●      Performs administrative tasks and duties in daily business practices, including but not limited to answering/returning telephone calls, email correspondence, and greeting clients. 

●      Other duties as assigned.

Experience/Skills

Required: 3 years’ experience in Financial/Investment Services (Investment, Insurance, Banking or Mortgage Industries)

Preferred: 4-year college degree or equivalent work experience

Preferred: Experience working directly with clients.

Preferred: Software/Tech savvy-Client Management Systems (Redtail CRM), Netx360, Broker-Dealer Platform Systems (Redtail, Microsoft Office and Cetera Platform).

This position provides Operational and Administrative support for our office. This is not a track position to become a Financial Advisor. The person in this role will not provide financial/investment recommendations or maintain a book of business. 

 Job Type

Full time, Monday to Friday, 40 hrs/week with occasional opportunity for remote work.

Salary & Benefits

Based on experience and expertise (Range: $60,000-70,000/year).  

Standard Federal Reserve Bank Holidays (13):

• New Year’s Eve
• New Year’s Day
• MLK Day
• Washington’s Birthday/President’s Day
• Memorial Day
• Juneteenth
• Independence Day
• Labor Day
• Columbus Day
• Veteran’s Day
• Thanksgiving Day
• Christmas Eve
• Christmas Day

Vacation / PTO, 10 days/year

Sick Leave, 7 days/year

Monthly insurance stipend

Eligible for SEP IRA after 6 months of employment

Background Check

Prior to employment, the prospective employee will be subject to fingerprint as well as civil and criminal background checks as required by FINRA and Cetera Advisor Networks.

 To Apply:

Email Info@WalshFinancialServicesSTL.com a PDF copy of your:

(1)   cover letter

(2)   resume

(3)   three (3) work related references